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Prospect Capital
PSEC

Overview Fund Activity

254 hedge funds and large institutions have $908M invested in Prospect Capital in 2014 Q1 according to their latest regulatory filings, with 49 funds opening new positions, 107 increasing their positions, 70 reducing their positions, and 25 closing their positions.

Holders
254
Holders Change
+19
Holders Change %
+8.09%
% of All Funds
7.34%
Holding in Top 10
5
Holding in Top 10 Change
+1
Holding in Top 10 Change %
+25%
% of All Funds
0.14%
New
49
Increased
107
Reduced
70
Closed
25
Calls
$825K
Puts
$3.47M
Net Calls
-$2.65M
Net Calls Change
-$1.39M

Top Buyers

1
Two Sigma Investments
1
Two Sigma Investments
New York
$47.7M
2
Two Sigma Advisers
2
Two Sigma Advisers
New York
$35.8M
3
CNB
3
City National Bank
California
$40.2M
4
U
4
UBS
Switzerland
$43.2M
5
Bank of America
5
Bank of America
North Carolina
$10.5M

Top Sellers

1
BFA
1
BlackRock Fund Advisors
California
$83.8M
2
Vanguard Group
2
Vanguard Group
Pennsylvania
$11.1M
3
Principal Financial Group
3
Principal Financial Group
Iowa
$923K
4
Ameriprise
4
Ameriprise
Minnesota
$85K
5
Bank of New York Mellon
5
Bank of New York Mellon
New York
$12.4M
Name Holding Trade Value Shares
Change 		Shares
Change %
CEP
101
Chicago Equity Partners
Illinois
$977K +$977K +90,535 New
NPC
102
National Planning Corporation
California
$975K +$75.7K +6,931 +8%
CPS
103
Counsel Portfolio Services
Ontario, Canada
$949K – – –
Acadian Asset Management
104
Acadian Asset Management
Massachusetts
$949K – – –
Bank of Montreal
105
Bank of Montreal
Ontario, Canada
$935K +$38.5K +3,562 +4%
Allianz Asset Management
106
Allianz Asset Management
Germany
$926K -$513K -47,473 -36%
Principal Financial Group
107
Principal Financial Group
Iowa
$923K -$17.8M -1,650,959 -95%
Nuveen Asset Management
108
Nuveen Asset Management
Illinois
$920K +$86.4K +8,000 +10%
SMDAM
109
Sumitomo Mitsui DS Asset Management
Japan
$894K -$99.1K -9,180 -10%
AR
110
Advisory Research
Illinois
$894K -$99.1K -9,180 -10%
LTFS
111
Ladenburg Thalmann Financial Services
Florida
$890K -$196K -18,183 -18%
RPA
112
Rock Point Advisors
Vermont
$822K +$85.4K +7,900 +12%
SFP
113
Santa Fe Partners
New Mexico
$817K +$817K +75,753 New
MERSOM
114
Municipal Employees' Retirement System of Michigan
Michigan
$812K +$812K +75,200 New
DCM
115
Dialectic Capital Management
Connecticut
$809K +$809K +74,896 New
CCB
116
Cutter & Co Brokerage
Missouri
$798K -$12.1K -1,119 -1%
PP
117
Paloma Partners
Connecticut
$794K -$679K -62,880 -46%
Creative Planning
118
Creative Planning
Kansas
$777K +$14.8K +1,368 +2%
ICOA
119
Investment Centers of America
North Dakota
$776K +$250K +22,026 +47%
FAAS
120
First Allied Advisory Services
California
$765K +$475K +43,868 +164%
SIC
121
Salem Investment Counselors
North Carolina
$738K -$14.8K -1,375 -2%
WA
122
WFG Advisors
Texas
$718K +$48.9K +4,529 +7%
NGA
123
Naples Global Advisors
Florida
$703K -$201K -18,615 -22%
BB
124
Bell Bank
North Dakota
$703K +$703K +65,070 New
AA
125
Ancora Advisors
Ohio
$691K +$691K +64,000 New
3 4
5
6 7